Compliance Principles (EN / 2019)
Über den Vortrag
Der Vortrag „Compliance Principles (EN / 2019)“ von Lecturio Online Courses ist Bestandteil des Kurses „Compliance Management Training (EN)“. Der Vortrag ist dabei in folgende Kapitel unterteilt:
- Definition of Term Compliance
- Legal Basis – Obligations and Liabilities
- Liability of the Company and the Organs
- Risk Identification
- Occurring Areas
Quiz zum Vortrag
Which statements about compliance are wrong? * You can select more than one answer.
- Compliance (portmanteau word made up of ‘complication’ and 'alliance') serves to detect and improve outdated and complicated structures in corporate communications.
- Compliance serves to prevent violations of legal regulations and company-internal guidelines.
- Compliance defines a legal and factual framework that only concerns the management and supervision of a company.
- Compliance means good corporate identity.
What are the internal benefits for a company in terms of compliance? * You can select more than one answer.
- Compliance guidelines define the rules by which to do business.
- Compliance guidelines provide clarity and security for employees.
- Compliance standards enable tax benefits.
- Rules reduce the responsibility of the management board.
Why is compliance important externally to the company? * You can select more than one answer.
- Strengthens the external image of the company
- Public awareness of the company's compliance - management
- Reduction of liability risks
- Code of Conduct
What are the main duties of members of the executive board? * You can select more than one answer.
- Maintain the due diligence of a prudent businessman
- Evaluate risk and introduce appropriate actions to manage these
- The executive board is informed by the supervisory board about all aspects of planning and business development.
- Provide appropriate risk management
What are the duties of the supervisory board?
- Supervisory board investigates deviations of businesses processes from plans and goals
- Provide appropriate risk management
- Inform about all aspects of planning and business development
- Maintain the due diligence of a prudent businessman
What is the chronological order of risk identification according to the COSO framework?
- Risk Potential - Status Regulation - Organisational Structure - Organisational Process - Management of Risks - System Monitoring
- Status Regulation - Risk Potential - System Monitoring - Organisational Structure - Organisational Process - Management of Risks
- Risk Potential - Status Regulation - Organisational Process- Organisational Structure- Management of Risks - System Monitoring
- System Monitoring - Management of Risks - Risk Potential - Status Regulation - Organisational Process- Organisational Structure
What is the definition of a horizontal restriction of competition?
- Agreements or arrangements between companies operating at the same stage of the market (manufacturer 1 - manufacturer 2)
- Agreements or arrangements between companies operating at different stages of the market (producer - dealer - customer)
- Abuse of a dominant market position or relative market power
- Agreements or arrangements between companies operating in the same country
Dozent des Vortrages Compliance Principles (EN / 2019)
Lecturio Online Courses
Lecturio provides sustainable, simple and cost-efficient continuing education and training to companies and private customers. The e-learning catalogue consists of more than 7000 video-based courses covering over 80 topics. The focus is on compliance, leadership, project management, distribution, and medicine. Most of private customers use Lecturio in parallel to their studies and to prepare for their exams in medicine and law. Lecturio provides practical video-based online training—in German and English. Thousands of quiz questions help to measure and assess the learning success. Lecturio courses are available on all devices—and even offline with the iOS and Android app. Lecturio’s mission is to help companies and private customers to develop their full potential.
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